SN
Susanna N. Nieto
CITIZENS SECURITIES
Livingston, NJ 07039
Some features on this profile are disabled
CRD#: 6876407
SN
Professional summary
Susanna Nicole Nieto, CFP®, who also goes by Susanna N Nieto, Susanna Nicole Nieto, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Livingston, New Jersey.
Susanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Susanna has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susanna N Nieto | Susanna Nicole Nieto
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Marcelo Nieto Estate- Administrator Coordinate all matters related to settling The Estate of Marcelo Nieto- Father Monthly Compensation: $0 Date of Initial Involvement: Start date pending Approx amount of time/month: 8-10 hours
CRS (Client Relationship Summary) - RIA
Click below to view Susanna Nicole Nieto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susanna Nicole Nieto's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2022
Experience
Current
April 25, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 24 E Northfield Rd Nj156, Livingston, NJ 07039Office #2: 221 River Street Suite #3 Nj143, Hoboken, NJ 07030Office #3: 89 River Drive Nj278, Jersey City, NJ 07310Office #4: 193 Morris Ave Ms: Nj223, Springfield, NJ 07081RIA
BD
CRD#: 39550
Livingston, NJ
Current
April 25, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 24 E Northfield Rd Nj156, Livingston, NJ 07039Office #2: 221 River Street Suite #3 Nj143, Hoboken, NJ 07030Office #3: 89 River Drive Nj278, Jersey City, NJ 07310Office #4: 193 Morris Ave Ms: Nj223, Springfield, NJ 07081RIA
BD
CRD#: 39550
Livingston, NJ
Past
September 23, 2022 - April 18, 2023
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
WASHINGTON, DC
Past
October 22, 2019 - September 13, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
WAYNE, NJ
Past
April 5, 2018 - September 9, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WAYNE, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/9/2024)
IAR
Arizona(1/23/2024)
RR
California(3/10/2025)
IAR
California(3/10/2025)
RR
Florida(12/12/2023)
IAR
Florida(12/13/2023)
RR
Maine(12/12/2023)
IAR
Maine(12/12/2023)
RR
Massachusetts(4/25/2023)
RR
Michigan(12/12/2023)
IAR
Michigan(12/12/2023)
RR
New Hampshire(4/25/2023)
IAR
New Hampshire(4/25/2023)
RR
New Jersey(6/8/2023)
IAR
New Jersey(6/8/2023)
RR
New York(8/22/2025)
IAR
New York(8/22/2025)
RR
Rhode Island(12/12/2023)
IAR
Rhode Island(12/12/2023)
RR
South Carolina(12/20/2024)
IAR
South Carolina(12/20/2024)
RR
Texas(12/12/2023)
IAR
Texas(12/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
